DFX Intelligence
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CRD 147302
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| N•• I••••••••• L•••• F••• L•••••• | Hedge Fund | $106M | Jul 13, 2015 | 1 | Mar 29, 2012 | dropped | 021-150228 |
| N•• C•••••• F••• L•••••• | Hedge Fund | $63.9M | Aug 16, 2019 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D••••••• N•••• A•••••• | CHIEF COMPLIANCE OFFICER, C•••••••• SECRETARY | Na | yes | 06/2008 | Mar 29, 2012 | Aug 16, 2019 |
| K•••••••• H•••• | CHIEF INVESTMENT OFFICER | Na | yes | 07/2019 | Aug 16, 2019 | Aug 16, 2019 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| N••••• A•••• M••••••••• C••• L••• | n/a | Asset manager | $602B | Y | yes | n/a |
| N••••• C•••••••• R••••••• A•• A•••• M••••••••• I•• | n/a | Other adviser | $38B | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2019 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2019 | $149M | $361M | -58.6% | $640M | -38.4% | 3 | 5 | 0 | 0 |
| 7 |
| Mar 29, 2012 |
| reported |
| 021-163803 |
| N•• F•••••• F••• L•••••• | Hedge Fund | $4.5M | Jul 5, 2017 | 1 | May 26, 2015 | dropped | n/a |
| CHIEF ADMINISTRATIVE OFFICER |
| Na |
| yes |
| 09/2018 |
| Sep 25, 2018 |
| Aug 16, 2019 |
| N•••••• Y••••• | President | Na | yes | 04/2019 | Apr 3, 2019 | Aug 16, 2019 |
| N••••• A•••• M••••••••• C••• L••• | Shareholder | E | yes | 10/1997 | Jun 27, 2016 | Aug 16, 2019 |
| N••••• A•••• M••••••••• U••••• I••• | Member | E | yes | 06/2008 | Mar 29, 2012 | Aug 16, 2019 |
| N••••• H•••••••• I••• •••••••• N•••• T•• N••••• S••••••••• C••• L•••• | Stockholder | E | yes | 12/1959 | Mar 29, 2012 | Aug 16, 2019 |
| R•••••• A••• J•••••• | Treasurer | Na | yes | 12/2013 | Dec 4, 2013 | Aug 16, 2019 |
| N••••• A•••• M••••••••• U••• L•••••• | n/a | Former SEC adviser | $32B | N | yes | n/a |
| N••••• A•••• M••••••••• U••••• I•• | n/a | Asset manager | $1.0B | Y | yes | n/a |
| I•••••••• L•• | n/a | No RAUM reported | $0 | N | yes | n/a |
| N••••• S••••••••• I••••••••• I••• | n/a | No RAUM reported | $0 | N | yes | n/a |
| T•• N••••• T•••• • B•••••• C••• L••• | n/a | n/a | n/a | N | yes | n/a |
| $149M |
| $63.9M |
| 5 |
| 5 |
| 0 |
| 1 |
| $63.9M |
| 2018 | Jun 22, 2018 | $361M | $188M | 5 | 5 | 0 | 1 | $188M |
| 2017 | Jun 21, 2017 | $460M | $460M | 5 | 5 | n/a | 2 | $282M |
| 2016 | Jun 27, 2016 | $640M | $640M | 7 | 7 | n/a | 2 | $499M |
| 2015 | Jun 25, 2015 | $2.7B | $2.7B | 7 | 7 | n/a | 3 | $2.5B |
| 2014 | Jun 27, 2014 | $1.2B | $1.2B | 9 | 6 | n/a | 2 | $1.2B |
| 2013 | Jun 28, 2013 | $444M | $444M | 6 | 5 | n/a | 2 | $400M |
| 2012 | Jun 29, 2012 | $2.0B | $2.0B | n/a | n/a | n/a | 2 | $2.0B |